FINRA Financial Operations Examiner - Member Regulation, ROOR - New York, NY in New York, New York

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The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for ourFinancial Operations Examiner opening in New York, NY.To be considered for this position, please submit your resume through our career site at www.finra.org/careers no phone calls, please.

Job Summary:

TheFinancial Operations Examiner should have an intermediate level of competence in identifying risks, developing regulatory strategies to address those risks, and working with teams to execute these strategies. This is a professional position sharing knowledge, developing and refining skills, and working under moderate supervision and guidance.

Position may be filled at various levels depending on experience and job skills of a successful candidate.

Essential Job Functions:

  • Participate in the examinations of assigned member firms; assist in identifying key risks and developing strategies to review such risks; conduct move-the-line and risk reviews, and prepare examination reports while working under moderate supervision.
  • Identify notable trends in industry practices, products and procedures with the guidance of senior team members.
  • Assist team members in analyzing member firms financial and operational books and records to identify areas of risk.
  • Actively participate in meetings with firms during examinations under moderate supervision and guidance.
  • Work to ensure regulatory programs serve departmental goals and FINRAs mission in an efficient and effective manner.

Other Responsibilities:

  • Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
  • Participate on committees and special projects.


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